Leadership and Innovation in Compliance, Risk, and Data

Women in Compliance

Leadership and Innovation in Compliance, Risk, and Data

Women in Compliance is full day conference and workshop for (female) executives in compliance, risk, data, and technology. While the focus is on investment management, the workshops and panels also feature insights and case studies from other industries to address some of the universal challenges and opportunities.

The setting and layout of The Penthouse at The Standard in NYC facilitates an intimate gathering for around 50-60 executives, mixing broader panel discussions with guided workshops addressing specific team and company challenges and how to resolve them.

Interactive topics include female leadership in compliance, risk and data; tech deep dives into AI, blockchain, cybersecurity; empowering and mentoring the next generation of leaders, culture and conduct, new global regulatory developments, and more.

Hosted with

Women in Compliance: Speakers

ALYSSA ALBERTELLI

Head of Ethics

Fidelity Investments

KAREN BARR

President and CEO

Investment Adviser Association

LISA BLOOMBERG

Principal Director

Accenture

JENNIFER CASSEDY

Chief Compliance Officer

BNY Mellon AMNA

LEIGH EMERY

Chief Compliance Officer

Dynasty Financial Partners

SHRUTI GANGULY

Filmmaker

honto88

JACQUELINE HALLIHAN

Executive Director

Ascendant Compliance Management

DEBORAH KABACK

MD and Chief Legal Officer

Oppenheimer Asset Management Inc

REBEKAH LETCH

Co-Founder and Executive Vice-President of Product Development & Design

Radha Beauty

ROSA LICEA-MAILLOUX

Fund CCO, SVP, Deputy General Counsel

Natixis Investment Managers

TERENCE MILLS

CEO

Ai.io

MICHELLE NEUFELD

EVP, Head of Compliance and Operational Risk FIG

Wells Fargo

PAM NORLEY

President

Fidelity Charitable

DIANE RIPSTEIN, M.Ed.

Executive Coach, Communications Expert

NESHIE TIWARI

Chief Compliance Officer and Counsel

Ellevest, Inc.

JEANETTE TURNER

Chief Regulatory Officer

Compliance Solutions Strategies

LINDA WONDRACK

Head of Compliance

Advice Solutions

VENETIA WOO

Principal Director - North American Regulatory Strategy Lead

Accenture

Women in Compliance:Event Program

8:45 AM - 9 AM

Registration

9 AM - 9:25 AM

Welcome / Regulatory Overview of the Day

What are the key regulatory initiatives impacting the investment management industry in the US and globally for 2019 and beyond?

Daniel Enskat, CEO, Compliance Strategy Institute

Linda Wondrack, Head of Compliance, Advice Solutions

9:25 AM - 10:15 AM

Setting the Stage: Female leadership in compliance, risk and data

How are female C-level executives and their teams addressing systemic risks, technological innovation, culture and conduct in their industries?

Digital Coffee Break & Top Questions to Workshop Further

10:30 AM - 11:20 AM

Workshops

Creating an impactful social media narrative for your company

Rebekah Letch, Co-Founder/CMO for Radha Beauty, Instagram Influencer with half a million followers globally, will share her insights into using social media for a double-digit million dollar PE exit in a workshop setting.

Workshop Leader Debate of Overall Findings

The workshop leaders will report back the key findings to the overall group and the results will be debated in an open Q&A.

11:30 AM - 12:15 PM

Leadership and Life Lessons: 1-On-1 with Pam Norley

Pam Norley is the President of Fidelity Charitable, the largest charitable organization in the country. She also is on the board of the Greater Boston Food Bank and the Boston Ballet. Pam served as Fidelity’s EVP for Enterprise Talent and Relationships, as the co-Chair of Fidelity’s Community Committee for Corporate Citizenship, and also founded Fidelity’s female leadership group a decade ago . Pam will discuss leadership and life lessons for women in investment management in a 1-on-1 with Daniel Enskat.

12:15 PM - 1:30 PM

Lunch

1:30 PM - 2:20 PM

Tech Deep Dive: AI, Blockchain, Cybersecurity & Cryptocurrency

How are artificial intelligence and machine learning impacting enterprise wide compliance, risk, investment and data programs? What is the opportunity for women in facilitating digital and tech change?

Networking & Cocktails

Brought to you by

Conference Organizers

Headquartered in Boston, Fidelity serves its customers through 10 regional offices and more than 190 Investor Centers in the United States. With 40,000-plus associates, our global presence spans eight other countries across North America, Europe, Asia, and Australia who are also working tirelessly to meet the needs of our customers.

The Compliance Strategy Institute (CSI) will host a series of global compliance roundtables in 2018 around issues of strategic and tactical concern for chief compliance and chief legal officers. The CSI focuses on big picture compliance panel themes such as compliance costs, global regulation, RegTech or compensation as well as specific regulatory changes and reporting requirements such as MiFID II, PRIIPs, SEC amendments, shareholder reporting et al) in workshop settings. CSI membership focuses on compliance solutions with in-person events, webinars, access to experts, proprietary research and ongoing regulatory updates.

Women in Compliance

Steering Committee

LINDA WONDRACK

Chief Compliance Officer

Fidelity Asset Management

DONNA DANIELS

Executive Director

Ernst & Young

ROSA LICEA-MAILOUX

Fund CCO, SVP, Deputy General Counsel

Natixis Investment Managers

SUSAN ROBINSON

Partner, Advisory

Ernst and Young

Global Roundtables

Prior CSI Speakers

JENNIFER CASSIDY

Chief Compliance Officer

The Boston Company Asset Management

KARA BROWN

President, NEBDIAA and Council

Sidley Austin

TAMMY EISENBERG

Director - Investment Management Risk & Compliance

BNY Mellon

AMANDA WAGNER

Branch Chief, Division of Investment Management

U.S. Securities and Exchange Commission

Conference Venue

The Penthouse at The Standard, East Village, NYC

The Standard, East Village, NYC

25 Cooper Square, East VillageNew York, NY 10003

About the Conference

Sponsorship Opportunties

SPONSORSHIPSThe Women in Compliance conference will offer a unique opportunity for companies to raise their profile by meeting with top compliance executives. We will deal with the themes of strategic priority for CEOs and CIOs, as they think on a high level about compliance and its business impact for the coming years.

Join a select group of companies who are looking to maximize their firm’s exposure in front of this highly influential group of compliance executives.